Securities Industry Essentials
Securities Industry Essentials
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Securities Industry Essentials (SIE) Exam 2023 New Update
- Examen • 19 páginas • 2023
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Securities Industry Essentials (SIE) 
Exam 2023 New Update 
Customer Protection Rule - ANS-Rule ensures customer's funds held by a broker dealer 
are deployed in safe areas; deposited in a RESERVE BANK ACCOUNT. 109 
Currency Transaction Report (CTR) - ANS-Must file when a transaction from ONE 
person in ONE day is over $10,000. Laundering prevention. 111 
FinCEN (Financial Crimes Enforcement Network) - ANS-A treasury department agency 
that focuses on money laundering and national security....
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REVIEW SECURITIES INDUSTRY ESSENTIALS 2023-2024
- Examen • 11 páginas • 2023
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REVIEW SECURITIES INDUSTRY ESSENTIALS
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Securities Industry Essentials Exam 2023 Solved 100% Correct
- Examen • 10 páginas • 2023
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Broker-Dealer that doesn't comply is subject to: - ANSWER--censure 
-limits on activities 
-suspension 
-revocation of reg 
-fine 
 
FINRA - ANSWER-regulates all matters related to investment banking, trading in the OTC market, trading in the NYSE listed securities, and the conduct of FINRA member firms and associated persons 
 
FINRA Purpose - ANSWER--promote investment banking and securities business 
-provide medium for communication among its members 
-adopt, admin, and enforce rules design...
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